The following documents are suggested general documents which would be requested for review during SCAN Audit. Auditors have the right to request other documents not listed below for review if auditors have reasonable grounds to believe such documents are relevant to the SCAN Audit. 下面所列文件是SCAN审核需要审阅的常见文件。请在审核当天现场提供原件给审核员查阅。 对于审核所需其它文件，审核员现场将按照实际情况索要，请给予配合。 # Documents 1 Business license, permit 营业执照，经营许可证 2 Security vision and responsibility 安全愿景和责任 3 Previous SCAN Audit CAPA Report (If this is Re-audit) 上次 SCAN 审核完成 CAPA 后的报告（如果是重新审核) 4 SCAN Security and Threat Awareness Training Certificate 工厂参加 SCAN 平台反恐意识培训后获得的证书 5 Security risk assessment record 安全风险评估记录 6 Written cargo process map 书面的货物运输线路图 7 Documented crisis plan 危机应对计划 8 Service contract between the factory and business partner 工厂与其商业伙伴签订的服务合同中的安全义务和责任 9 Business partner list and Procedure for selecting business partners and suppliers including carriers, consolidators 商业伙伴清单，以及选择商业伙伴、供应商（包括海关报关行、运输商、集装箱装运商等）的程序 10 Regular risk assessment of business partner’s operation 商业伙伴运作体系的周期性安全评估报告 11 Minimum security standards (in local language) provided to business partner 工厂对其商业伙伴最低安全要求及标准 12 Written cyber security policy to protect information technology systems and devices including printer 保护信息技术系统和设备(包含打印机等)的书面网络安全政策 13 Written procedure to remove network access for employees. 取消员工网络访问权限的书面程序 14 Network systems backed up policy and record 网络系统备份和记录 15 Container/trailer integrity security inspection procedure 集装箱/拖车完整性安全检查程序 16 Trailer/container comprehensive inspection record 货车/货柜综合检查记录 17 Photos and/or CCTV records during the container/trailer loading process 装柜的照片、CCTV 记录 18 7-points inspection training records 7点检查人员培训记录 19 Procedure where management or supervision conducts follow up inspections 管理或监督进行后续检查的程序 20 Written procedure to track, trace and require confirmation of arrival at destination 跟踪、追踪和要求确认到达目的地的书面程序 21 Tracking records for the movement of containers & trailers, e.g. GPS records 集卡/货车行车线路跟踪记录：例如GPS记录 22 Facility written instructions to transportation service drivers detailing that only required stops are permitted 给运输服务司机的设施书面说明，详细说明只允许必要的停靠点 23 Driver and visitor information records/log book 集卡/货车驾驶员信息记录 24 Written security procedure for contracted less than container load (LCL) service providers 零担货运服务商安全控制程序 25 Procedure that requires an LCL container or trailer to be secured after each stop with either a tamper evident seal or a padlock 零担运输集装箱、车辆铅封程序 26 Written procedure for air shipments 空运的书面程序 27 Agricultural security-Pest control procedure 农业生物安全-虫害控制程序 28 Specification and/or test report of the seals demonstrating compliance with ISO17712 铅封的技术规格书, 符合ISO17712标准的测试报告 29 Seal control procedure for its receiving, verification, storage and distribution; Seal control log and inventory audit report 铅封的接收,验收,储存和分发的控制程序；铅封控制日志、存量审核记录 30 Written procedure to report unauthorized access to a container, a trailer, or product storage areas within the facility including who to notify 防止非授权人员进入集装箱、集卡和货物储存区域的书面程序 31 Restricted areas access control procedure 限制区域进出控制程序 32 Written procedure for shipping documents for merchandise/cargo to be legible, complete, and accurate 使商品/货物的运输文件清晰、完整和准确的书面程序 33 Shortage& overage detection procedure and handling records 短装及溢装监测程序及其处置记录 34 Bill of lading with seal number recorded 记录铅封号码的提单 35 Procedure of restricting access for shipping and receiving documentation 货物接收/发送文件的控制程序 36 Procedure for notifying local law enforcement and the customer when an illegal shipping activity or abnormality is suspected or detected 发现非法装运活动或异常状况时与监管当局的沟通程序 37 Access control procedure 工厂进出控制程序 38 Notify business partners of security issues procedure 向业务伙伴通报安全问题的程序 39 Procedure for controlling the issue, removal, and changing of access devices such an ID badge, door and lock keys, access cards, and security alarm codes 控制工厂员工识别卡、门锁、出入卡、安全警报系统编码的程序及其记录 40 Security staff job description 安保人员职责描述 41 Security guard patrol record 保安巡逻记录 42 Preventative maintenance procedure for inspecting perimeter fencing or other barriers, buildings, and structures and relevant records 工厂围墙、护栏、建筑物和设施的日常维护保养程序及记录 43 Written procedures governing the use of the security technology 使用安保技术的书面程序 44 Maintenance contract for security systems 安保系统维护合同 45 Alternate/back-up electrical power supply system maintenance records (if electronic security system is available) 工厂后备电力系统维护记录 (当有电子保安监控系统使用时) 46 Documented reviews of conduct random CCTV footage periodically. 定期进行随机闭路电视录像的记录审查。 47 CCTV recording records, and CCTV system user book 闭路电视录像记录、闭路电视系统用户手册 48 Visitor access control procedure and records 访客出入控制程序和记录 49 Mail& package screen procedure& records 邮件包裹筛查程序、记录，以及可疑物品处置报告 50 Procedure for validating information provided on an employment application, such as an address, previous employment history, education, personal or professional references, and a certification 员工入职申请信息的核实程序（如住址、教育学历、个人/专业背景、证明性文件） 51 Employee backgrounds check procedure (including criminal back ground check, credit check, especially for sensitive positions such as shipping, warehouse control, security, IT, contract workers, etc.) 员工背景调查程序（包括犯罪背景调查、个人征信调查、特别是敏感岗位员工，例如船务、保安、仓库管理，IT，劳务工等岗位） 52 Employees Security Threat Awareness training program and relevant training evaluation records 员工安全防范意识培训项目及其培训记录 53 Training record of employees who conduct security and agricultural inspections 进行安全和农业检查的员工的培训记录 54 Threat Awareness training informing employees of procedures to report suspicious activity or a security incident and relevant records 员工汇报可疑行为和安全事件的意识培训及其记录 55 Threat Awareness training programs for sensitive or restricted areas 敏感、限制区域安全管理培训项目及其记录 56 Training programs on Threat Awareness, Contraband, Human Smuggling and Terrorism 反恐意识、防范走私及人口贩卖和供应链恐怖主义的培训及其记录 57 Incentive or recognition program for encouraging employees reporting suspicious activity or a suggestion to improve security 激励员工报告可疑行为和改进安全管理系统的方案 58 Pest contamination training records 虫害污染培训记录 59 Cyber security training records 网络安全风险的培训记录 60 Certificate proving the factory participating any government, local custom, WCO accredited security program 工厂加入地方政府、海关和国际海关组织的反恐项目的证明文件 61 Certificate proving the factory participating C-TPAT 工厂加入C-TPAT的证明文件 62 Factory Layout 工厂平面图 63 Employee roster 工厂员工花名册 64 Annual revenue statistics/records 年度营业额报表
